Disciplined List

The Disciplined List is intended to assist the public and the securities industry in conducting due diligence. The list contains the names of individuals and companies disciplined by the following agencies:

Decisions against individuals:

the Alberta Securities Commission since 1987;

the Autorité des marchés financiers since 2007;

the British Columbia Securities Commission since 1987;

the Tribunal administratif des marchés financiers (formerly the Bureau de décision et de révision) since 2007;

the Financial and Consumer Services Commission (New Brunswick) since 2005;

the Manitoba Securities Commission since 1999;

the Nova Scotia Securities Commission since 2002;

the Ontario Securities Commission since 1997;

the Financial and Consumer Affairs Authority of Saskatchewan since 2005;

the Québec courts since 2007;

the Investment Industry Regulatory Organization of Canada (IIROC) since 2004;

the Mutual Fund Dealers Association of Canada (MFDA) since 2004; and

the Chambre de la sécurité financière since 2001.

Decisions against companies:

the Alberta Securities Commission since 2008;

the Autorité des marchés financiers since 2008;

the British Columbia Securities Commission since 1987;

the Tribunal administratif des marchés financiers (formerly the Bureau de décision et de révision) since 2008;

the Financial and Consumer Services Commission (New Brunswick) since 2008;

the Manitoba Securities Commission since 2008;

the Nova Scotia Securities Commission since 2015;

the Ontario Securities Commission since 2008;

the Financial and Consumer Affairs Authority of Saskatchewan since 2008;

the Québec courts since 2008;

the Investment Industry Regulatory Organization of Canada (IIROC) since 2008; and

the Mutual Fund Dealers Association of Canada (MFDA) since 2004.

Administrative tribunal hearing decisions and CSA member decisions are public records. As the government agencies responsible for protecting investors and the integrity of the securities markets, CSA members consider it important to make this type of information readily available. This is why we give the names of individuals and/or companies who have been subject to sanctions, no matter how serious and whether or not the sanctions have expired.

The CSA presents this information as a plain language summary of information found in publicly available documents. The category descriptions provided therein are for the convenience of the reader only. You should review the supporting documents for the full conditions and context of all decisions, orders, and sanctions.

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Related Information

The Chambre de la sécurité financière (Québec only) oversees professionals who work in five sectors, namely group savings plan brokerage, financial planning, insurance of persons, group insurance of persons and scholarship plan brokerage. The Chambre de la sécurité financière updates this list to include disciplinary decisions relating to securities only. For all other sectors, please contact the Chambre de la sécurité financière directly.